Let Bates Compliance Group partner with you to ensure that your compliance program is running smoothly and operating efficiently. Whether you represent a single-member firm or an entire compliance department, partnering with Bates provides you with peace of mind that all the regulatory filings are up-to-date and that your compliance program will meet and exceed regulatory scrutiny.
We know that no adviser is exactly the same—that is why Bates Compliance Group creates a custom outsourcing program to meet your firm’s specific needs and never tries to fit you into a pre-determined “box.”
If you are currently considering utilizing an outside compliance consultant, contact Bates Compliance Group first, and let us put together a customized compliance engagement specifically designed for your firm's needs.
Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.Contact Bates Group